Our Staff has compiled our research into a database of FINRA Broker Disclosures for Regulus Financial Group, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Russell L Thompson | 6610312 | 4 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard John Griswold | 2221680 | 1 | 08/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Tews | 2558272 | 1 | 01/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 4 | 10/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Harold Rhoads | 2947147 | 1 | 04/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |